Compliance and Suitability – Front Office
We are seeking a Risk & Control Officer to join a Front Office team. This role is central to ensuring portfolios and client advice meet regulatory requirements and deliver good client outcomes.
Key responsibilities:
* Monitor suitability of discretionary investment and wealth planning services.
* Support development of monitoring processes, MI, and KPIs.
* Provide guidance on suitability matters to front office staff.
* Collaborate with compliance, risk, and other teams on control initiatives.
* Contribute to efficiency improvements, data use, and automation.
About you:
* Experience in discretionary or advisory investment management (retail clients).
* Strong knowledge of FCA suitability rules and investment products.
* Excellent communication, influencing, and relationship-building skills.
* Detail-focused, client-centric, and self-motivated.